Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joy? Claim Your ProfileJoy Marie Rockwood is a registered representative with Raymond James Financial Services Advisors, Inc., and has been in the industry since November 1990. Joy has been with Raymond James Financial Services, Inc. since September 2000 and has experience working with individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, and charitable organizations. Joy holds multiple securities licenses including Series 6, 7, 9, 10, 31, 63, and 65. Joy also holds FINRA registrations and is active in 39 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Hourly & fixed rate consultations
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Per participant (erisa)
1
2
WY
08/08/2017 - Present
Raymond James Financial Services Advisors, Inc. (CHEYENNE WY)
NY
03/02/1998 - 09/22/2000
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
12/04/1991 - 03/02/1998
DAIN RAUSCHER INCORPORATED
NA
11/16/1990 - 12/10/1991
REEVES AND COMPANY, INVESTMENTS AND SECURITIES, INC.
IA
Issued 10/27/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/07/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/21/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/28/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/09/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 08/21/1991
Series 7 - General Securities Representative Examination
BC
Issued 11/07/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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